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SENIOR OFFICER-CHIEF LITIGATION COUNSEL

Securities and Exchange Commission
Division of Enforcement
This job announcement has closed

Summary

The Division of Enforcement (ENF) is seeking to fill the position of Chief Litigation Counsel. This position is located in either Atlanta, GA, Boston, MA, Chicago, IL, Denver, CO, Fort Worth, TX, Los Angeles, CA, Miami, FL, New York, NY, Philadelphia, PA, San Francisco, CA, or Washington, DC. and is open to US Citizens.

Overview

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Reviewing applications
Open & closing dates
07/16/2024 to 08/01/2024
Salary
$200,988 to - $305,096 per year
Pay scale & grade
SO 1
Locations
1 vacancy in the following locations:
Los Angeles, CA
San Francisco, CA
Denver, CO
Washington, DC
Remote job
No
Telework eligible
Yes—as determined by the agency policy.
Travel Required
Occasional travel - You may be expected to travel for this position.
Relocation expenses reimbursed
No
Appointment type
Permanent
Work schedule
Full-time
Service
Excepted
Promotion potential
2
Job family (Series)
Supervisory status
Yes
Security clearance
Other
Drug test
No
Position sensitivity and risk
High Risk (HR)
Trust determination process
Announcement number
24-EX-12479783-TMP
Control number
799988300

This job is open to

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Clarification from the agency

This position is open to US Citizens.

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Duties

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At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion and accessibility (DEIA) and value a workforce that reflects the diverse experiences and perspectives of the communities we serve. As such, we welcome applications from qualified individuals of all backgrounds who share our commitment to public service.

The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in federal court or before an administrative law judge, and negotiates settlements. The successful candidate will work with the Division's Deputy Chief Litigation Counsel and Chief of the Office of Bankruptcy, Collections, Distributions and Receiverships, and other supervisory personnel in the direct supervision of the Home Office Trial Unit located in the SEC's Headquarters in Washington, DC.

Typical duties include:

  • Supervising and directing the Division of Enforcement's litigation program conducted by attorneys who are under the direct supervision of the Chief Litigation Counsel.
  • Supervising and coordinating all cases in litigation in Headquarters and regional offices of the Commission, to include the activities of all trial attorneys nationwide. Ensuring consistency in the Division's approach to legal and policy issues in both settled and litigated matters.
  • Supervising bankruptcy, receivership, collections and distributions aspects of investigations and of cases in the United States district court litigation and administrative proceedings conducted by the Headquarters office and the regional offices.
  • Establishing and monitoring standards of quality control for the preparation of legal papers and documents used in administrative and court proceedings.
  • Working closely with the Division Director, Deputy Director, and other senior personnel on matters in investigation that may or may not result in actual litigation.
  • Providing formal and informal guidance and advice to Enforcement staff on policy and legal issues. Developing Division guidance and policy in response to legal and policy developments, in consultation with Division leadership and other Commission stakeholders. Providing advice to the Commission on legal strategy and legal developments.
  • Supervising and managing a staff comprised of attorneys and clerical support to ensure that manpower and resources are being utilized in the most effective manner. Counseling employees on administrative and technical matters. Assigning work based on program priorities and subordinates' capability. Evaluating employee performance, resolves employee complaints, and effects disciplinary measures as required. Recommending promotions and reassignments.
  • Participating actively with and giving advice to appellate attorneys in the Office of General Counsel in the preparation of briefs to be filed in U.S. Circuit Courts of Appeal resulting from the appeal of enforcement cases decided in the U.S. District Courts.
  • Providing advice on proposed legislation affecting the Division's responsibilities.

Requirements

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Conditions of employment

  • You must possess a J.D. or LL.B Degree.
  • You must be an active member of the bar in good standing.
  • CITIZENSHIP: This position is open to US Citizens.
  • Application procedures are specific to this vacancy announcement. Please read all the instructions carefully. Failure to follow the instructions may result in you not being considered for this position.
  • Supplementary vacancies may be filled in addition to the number stated in this announcement.
  • This position has promotion potential to the SO-02 level.
  • TRIAL PERIOD: This appointment may require completion of a two-year supervisory/managerial trial period.
  • SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position.
  • DRUG TESTING: This position may be subjected to drug testing requirements.
  • PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized.
  • DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing.
  • This position is not in the collective bargaining unit.
  • For consideration at the SO-2 level, you must currently hold a SO-2 position within the SEC.
  • This position is eligible to request telework in accordance with the SEC 's telework policy.

Qualifications

All qualification requirements must be met by the closing date of this announcement.

Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. Qualifying education must have been obtained from an accredited college or university recognized by the U.S. Department of Education.

BASIC REQUIREMENT: All applicants must possess the following

  • J.D. or LL.B. degree --AND--
  • Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: proof of bar membership will be required before entry on duty.

MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.

SO-01: Applicants must possess at least four years of post J.D. work experience identifying legal issues, conducting legal research, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents, such as legal opinions, briefs, memoranda, correspondence, or motions, which also includes at least three years of specialized experience:
  1. Interpreting Federal securities laws, and
  2. Conducting securities investigations, and enforcement activities under the Federal Securities Acts relating to the anti-fraud, anti-manipulative, and other provisions of the Acts

Education

FOREIGN EDUCATION: If you are using education completed in foreign colleges or universities to meet the qualification requirements, you must show the education credentials have been evaluated by a private organization that specializes in interpretation of foreign education programs and such education has been deemed equivalent to that gained in an accredited U.S. education program; or full credit has been given for the courses at a U.S. accredited college or university. For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html

Official Transcripts will be required at the time of appointment to verify educational eligibility.

Additional information

SEC COMPENSATION PROGRAM: The overall salary range listed above is provided for informational purposes as it represents the full range that is applicable to current employees in this occupation/grade; however, a selectee's initial pay is always set below the maximum rate of the range. Please click here for additional information.

Disability Employment: For information on disability appointments, please visit http://www.opm.gov/policy-data-oversight/disability-employment/

Reasonable Accommodation: If you are an applicant who needs a reasonable accommodation for disability to participate in the application process at the SEC, submit the form for Reasonable Accommodation for Participation in Job Application Process here. Please be sure to submit your request at least 5 business days in advance of the date you need the requested accommodation.

Equal Employment Opportunity (EEO) Information for SEC Job Applicants: Federal EEO laws protect all applicants from discrimination on the following bases: race, color, sex (not limited to conduct which is sexual in nature, includes pregnancy, gender identity, sexual orientation, transgender status), age (40 and over), religion, national origin, disability, genetic information, retaliation for participating in the EEO process or opposing discrimination. Applicants who believe they have been discriminated against on any EEO basis can seek recourse through the SEC's administrative complaints process. To be timely, an individual must enter the EEO process within 45 days from when they know (or should have known) of the alleged discrimination. Click here for additional information.

The Fair Chance Act prohibits specific inquiries concerning an applicant's criminal or credit background unless the hiring agency has made a conditional offer of employment to the applicant. An applicant may submit a complaint, or any other information, to the agency within 30 calendar days of the date of alleged non-compliance by contacting the Legal and Policy Office in the Office of Human Resources at ElliottT@sec.gov.

How you will be evaluated

You will be evaluated for this job based on how well you meet the qualifications above.

Your resume and supporting documentation will be used to determine whether you meet the job qualifications listed on this announcement. If you are basically qualified for this job, your resume and supporting documentation will be compared to your responses on the Occupational Questionnaire. All applicants may provide narrative responses (500 words or less per question) addressing the executive (core) and technical qualifications. After the announcement closing date, you will receive an email asking you to respond to the core and technical qualifications. You must provide your responses within the established deadline.

Based on the information provided in the narrative responses and resume, a rating panel will rate/rank candidates and place them in the following quality category groupings:

  • Highly Qualified: indicates that the candidate meets the criteria to an extent predictive of outstanding performance of the related duties.
  • Well Qualified: indicates that the candidate meets the criteria to an extent predictive of excellent performance of the related duties.
  • Qualified: indicates that the candidate meets the criteria to an extent predictive of fully successful performance of the related duties.
You will be rated on the following Executive Core/Technical Qualifications:

Core Qualifications:
  1. Management Experience: Experience designing and implementing strategies which maximize employee potential and foster high ethical standards in meeting the organization's vision, mission, and goals.
  2. Leading Change/Achieving Results: Experience developing and implementing an organizational vision which integrates key national and program goals, priorities, values, and other factors of that organization. Examples should include experience implementing change in their organization, exercising leadership and motivating managers to incorporate vision and strategic planning into the process.
  3. Building Coalitions/Communications: Experience explaining, advocating, and expressing facts and ideas (both orally and in writing) in a convincing manner. Experience working with the press, political appointees, Congress, and other high-level organizations and staff on various types of important national issues. Experience includes working in groups and teams conducting briefings with outside groups and gaining cooperation from others to obtain information and accomplish goals.
Technical Qualifications:
  1. Experience interpreting and applying the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940
  2. Experience analyzing complex problems and devising innovative solutions which may have precedent-setting impact.
  3. Experience conducting complex litigation.

The Assessment Questionnaire will take you approximately 20 minutes to complete. To preview the Assessment Questionnaire, click the following linkhttps://apply.usastaffing.gov/ViewQuestionnaire/12479783

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